NORTHERN TRUST INVESTMENTS, INCORPORATED

Latest filing: Jul 02, 2024 (120 days ago)

AUM

$1,016,556,943,580
13% change vs. 1 year ago
-1% change vs. 3 years ago
26% change vs. 5 years ago
59% change vs. 10 years ago

Employee Count

674
-7% change vs. 1 year ago
10% change vs. 3 years ago
18% change vs. 5 years ago
25% change vs. 10 years ago

Main Office

CHICAGO, IL
50 S LASALLE STREET, CHICAGO, IL, UNITED STATES, 60603-1008

Client AUM

Discretion AUM
Discretionary $1,016.6
Non-Discretionary $0.0
Total $1,016.6
Client AUM
Retail $77.8
Pooled $684.8
Institutional $254.0
Total $1,016.6
Retail Accounts AUM
Individual 22,383 $8.4
Average Individual AUM $376,619
HNW 12,197 $69.3
Average HNW AUM $5,685,205
Retail Total 34,580 $77.8
Average Retail AUM $2,249,055

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM
THE NORTHERN TRUST COMPANY CHICAGO-IL-USA $237.4

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $331.7
Retail SMA AUM $77.8
Institutional SMA AUM $254.0
Asset Class % AUM
Equity Exch 65% $215.6
Equity Non-Exch 0% $0.0
Govt Agency 11% $36.5
Municipal 8% $26.5
Sovereign 1% $3.3
IG Credit 7% $23.2
HY Credit 1% $3.3
Derivatives 1% $3.3
Investment Companies 0% $0.0
Other Pools 1% $3.3
Cash 6% $19.9
Other 0% $0.0
Total 101% $335.1

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
NORTHERN TRUST GLOBAL INVESTMENTS LTD $160.1 111900
50 SOUTH CAPITAL ADVISORS, LLC $12.0 174762
NORTHERN TRUST SECURITIES, INC. $1.0 broker-dealer 7927
NORTHERN TRUST SECURITIES LLP $0.0 broker-dealer -
THE NORTHERN TRUST COMPANY OF HONG KONG LIMITED $0.0 -
NORTHERN TRUST FUND MANAGERS (IRELAND) LIMITED $0.0 -
THE NORTHERN TRUST COMPANY $0.0 trust company -
NORTHERN TRUST GLOBAL INVESTMENTS JAPAN, K.K. $0.0 -
NORTHERN TRUST ASSET MANAGEMENT AUSTRALIA PTY LTD $0.0 -
NT GLOBAL ADVISORS, INC $0.0 -

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

15 active

Name Title
CARBERRY, CRAIG, RICHARD CHIEF LEGAL OFFICER/SECRETARY
ABUNASSAR, JOHN, GABRIEL EXECUTIVE VICE PRESIDENT/DIRECTOR
HAWKINS, SHERI, BARKER EXECUTIVE VICE PRESIDENT/DIRECTOR
WOJNAR, DARIUSZ EXECUTIVE VICE PRESIDENT/DIRECTOR
TEUFEL, MAYA, GEORGIEVA SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER
KUMAR, ARCHANA EXECUTIVE VICE PRESIDENT/CHIEF OPERATING OFFICER/DIRECTOR
MANIOUDAKIS, ANGELO, GEORGE EXECUTIVE VICE PRESIDENT/CHIEF INVESTMENT OFFICER/DIRECTOR
CARROLL, STEPHEN, ELLIOTT SENIOR VICE PRESIDENT/CHIEF FINANCIAL OFFICER/TREASURER
JOSHI, KAUSHAL, HARSHAD SENIOR VICE PRESIDENT/CHIEF INFORMATION OFFICER
GAMBA, DANIEL, ERNESTO CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR
BROMWELL, MAUREEN, MEGAN EXECUTIVE VICE PRESIDENT/CHIEF MARKETING OFFICER/DIRECTOR
MCINERNEY, JOSEPH, WALLACE SENIOR VICE PRESIDENT/CHIEF RISK OFFICER
KAR, PAULAMI SENIOR VICE PRESIDENT/DIRECTOR

ADVDB.CO • SOURCE: SEC

Representatives

21 active representatives found, showing 20 random

Name City State Exams Designations
WILLIAM HURT CHICAGO IL S63|2002-09-03|S65|2021-07-22
TERRY WEISSBERG CHICAGO IL S63|2016-06-01 CHARTERED FINANCIAL ANALYST
ANTHONY PIATEK CHICAGO IL S66|2017-10-05
ELIZABETH SFREDDO CHICAGO IL S65|2014-07-30|S63|2014-12-23
SEAN MURPHY CHICAGO IL S63|2004-01-26|S65|2015-12-23
LAUREN METAJ CHICAGO IL S63|2010-05-04|S65|2013-06-11
ROBIN TARDY CHICAGO IL S63|2000-05-30|S66|2004-03-04
RICCARDO MARGARITELLI CHICAGO IL S66|2020-06-27
JOHN ABUNASSAR CHICAGO IL S66|2015-07-29
EMILY MEYER CHICAGO IL S66|2003-10-31|S65|2016-04-04|S63|2015-12-01
JUSTIN GUTWALD CHICAGO IL S66|2009-08-12
MICHAEL BURDEEN CHICAGO IL S66|2015-03-30
JOSEPH TIRALOSI CHICAGO IL S63|2009-04-17|S65|2011-06-20
ERIK SPANO CHICAGO IL S63|2001-10-08|S66|2010-11-01|S65|2016-12-03
ELIZABETH LONGO CHICAGO IL S66|2014-07-25
HUNTER KNAPP CHICAGO IL S63|1996-04-15|S66|2000-12-14
ALISON STEWART CHICAGO IL S63|1993-10-06|S65|2015-05-18
STEPHEN RUSSELL CHICAGO IL S63|2013-12-23|S65|2022-01-07
ANDREW SHERMAN CHICAGO IL S66|2022-06-09
TAYLOR COWDREY CHICAGO IL S63|2009-04-10|S65|2011-09-12

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2024-10-01 $1,016.6 $0.0 0% 674 0 0%
2024-04-02 $1,016.6 $0.0 0% 674 0 0%
2023-04-04 $902.7 $113.9 13% 726 -52 -7%
2022-04-01 $1,183.1 -$166.6 -14% 550 124 23%
2021-04-05 $1,026.5 -$10.0 -1% 615 59 10%
2020-04-01 $860.8 $155.7 18% 603 71 12%
2019-04-01 $806.6 $209.9 26% 573 101 18%
2018-04-02 $836.8 $179.8 21% 562 112 20%
2017-04-01 $681.3 $335.2 49% 549 125 23%
2016-04-01 $623.6 $392.9 63% 525 149 28%
2015-04-01 $692.2 $324.4 47% 540 134 25%
2014-04-01 $638.4 $378.1 59% 541 133 25%
2013-04-01 $529.0 $487.6 92% 466 208 45%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
IL, AK-07/14/2000, AL-12/20/2000, AR-07/13/2000, AZ-07/12/2000, CA-07/19/2000, CO-07/17/2000, CT-08/11/2000, DC-09/05/2000, DE-08/12/2003, FL-07/27/2000, GA-07/13/2001, HI-07/13/2000, IA-07/13/2000, ID-07/14/2000, IL-07/12/2000, IN-02/08/2001, KS-07/12/2000, KY-07/13/2000, LA-03/28/2002, MA-07/12/2000, MD-07/21/2000, ME-08/07/2000, MI-07/14/2000, MN-07/13/2000, MO-07/12/2000, MS-05/31/2000, MT-07/14/2000, NC-12/19/2000, ND-07/25/2000, NE-08/25/1994, NH-07/17/2000, NJ-07/24/2000, NM-07/18/2000, NV-08/14/2000, NY-01/10/2000, OH-07/13/2000, OK-08/09/2000, OR-07/13/2000, PA-07/12/2000, PR-07/19/2000, RI-07/18/2000, SC-07/18/2000, SD-07/14/2000, TN-07/18/2000, TX-07/26/2000, UT-07/13/2000, VA-07/14/2000, VT-08/14/2000, WA-07/17/2000, WI-07/12/2000, WV-07/21/2000, WY-09/29/2017
ADVISER ACTIVITIES
PORTFOLIO MANAGEMENT
PORTFOLIO MANAGEMENT (RIC)
PORTFOLIO MANAGEMENT (POOLS)
PORTFOLIO MANAGEMENT (SMB)
MANAGER SELECTION
NEWSLETTERS
EDUCATIONAL WORKSHOPS
OTHER ACTIVITIES
COMMODITY TRADING ADVISOR
BANK
TRUST COMPANY

ADVDB.CO • SOURCE: SEC FORM ADV